The country’s securities regulator aims to promote sustainable investment in Thailand.
Category: Regulation
Singapore’s MAS to add client ID verification requirements
As lack of face-to-face interaction increased risk of identity theft and misuse of personal information.
Japan woos foreign firms with new entry office
Foreign AM firms entering Japan will be allowed to complete the registration process in English. Separately, the country has also been courting global asset managers established in Hong Kong.
SFC bans ex-Citic RM for life
A former relationship manager at Citic lied about an additional sum they had to pay the bank for opening accounts.
HK and China launch ETF connectivity scheme
Two Shenzhen-listed ETFs will each invest in products managed by Hang Seng Investment Management and CSOP Asset Management in Hong Kong.
Credit Suisse faces $300m lawsuit in Singapore
Bidzina Ivanishvili is the biggest victim of a wealth manager who defrauded clients for nearly a decade.
Will there be demand for mainland-tracking L&I ETFs?
CSOP AM is preparing to take advantage of the new L&I regulations in Hong Kong, which allow mainland index-tracking products to be listed in the SAR.
SFC fines asset manager for bond sale deficiencies
Hong Kong-based Convoy AM was fined by the regulator for lacking proper due diligence and documentation procedures, the SFC said.
SFC probes HSBC dividend cut after backlash
Overwhelmed by investor complaints, the Hong Kong regulator contacts UK regulators and HSBC and issues a rare public statement on the case.
Unlicensed manager sentenced to community service
Previous unlicensed individuals in Hong Kong were also convicted, but were slapped with fines.
